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AIMA files supplemental response to SEC's dealer rulemaking

22 November 2022

Registration Other Asset Management Regulation Americas

AIMA joins trades' letter to SEC on extension to comment periods

22 November 2022

RIAs Liquidity Outsourcing ...

More Aggressive Stance, Heightened Activity Nets SEC a $6.4B Enforcement Penalty and Disgorgement Windfall in Fiscal 2022

22 November 2022

Compliance Global Americas

AIMA Summary of the SEC's Proposed Rule on Outsourcing by Investment Advisers

21 November 2022

Outsourcing Americas

AIMA files supplemental response to the SEC's dealer proposal

21 November 2022

SEC Registration Americas

Joint Trades' Letter on Liquidity Risk Management & Outsourcing Proposal Comment Periods

21 November 2022

RIAs Liquidity Outsourcing ...

SEC adopts amendments to Form NP-X and say-on-pay votes

08 November 2022

Adopting Release Americas

New SEC Proposal for Oversight of Outsourced Services Assigns Prescriptive Supervision Duties to Registered Advisers

28 October 2022

RIAs Outsourcing Americas

SEC adopts new rules and amendments related to RIC and BDC advertising

28 October 2022

Expenses Reporting BDCs ...